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Maintain a complete and current inventory of all the process and control related documents for Global Operations, Deposits, Cards and Cash Management Operations.
Exercise judgment and influence, and if needed, assist Global Operations, Deposits, Cards and Cash Management Operations on the development, implementation and monitoring of processes and controls to reduce risk and ensure compliance.
Manage, communicate and provide periodic reporting and metrics to Global Operations, Deposits, Cards and Cash Management Operations on key issues, initiatives and special projects.
Proactively manage the relationships with internal Global Operations, Deposits, Cards and Cash Management Operations groups and the second and third lines of defense.
Highlight control breakdowns, inadequate processes, and unexpected events and implement corrective actions quickly to address process and control deficiencies.
Stay abreast and knowledgeable of the related regulatory, industry and compliance requirements in which Global Operations, Deposits, Cards and Cash Management Operations must meet to satisfy our regulators' expectations and anticipate industry trends or changes.
Assist in incorporating and executing complex regulatory and industry requirements and the "right size" application of those requirements as initiated within the organization.
Participate and provide guidance for new initiatives and product expansions, including determination of mitigating controls.
Promote open and effective communication on risk and control issues and remediation strategies.
SOX Specific Responsibilities:
Facilitate performance of annual risk assessment for identifying significant accounts and risks for reporting in line with 2nd line (SOX).
Coordinate walk-throughs, narratives and process / control specific flow charts.
Ensure quarterly that all items are current and reflective of actual practices.
Provide changes to controls if underlying processes have changed or new items / risks added top scope of the business - 2nd line would have to concur with the controls design and risk mitigation.
Create / manage quarterly program of self-testing / certification to support the business unit's quarterly certification under Section 302 of SOX.
Establish / manage ongoing program of procedure documentation and training within the department related to SOX and internal control processes / activities.
Manage program specific to manual controls including spreadsheets and data received / sent out by the department to ensure integrity of data used and integrity, completeness and accuracy of data provided to downstream stakeholders for ICOFR purposes (MRC checklists, IPE controls, etc.).
Monitor and manage all Entity Level Controls assigned for testing/monitoring to Deposits, Cards and Cash Management Operations.
Audit coordination - manage and facilitate all external and internal audit related matters in related to financial key controls deficiencies and gaps.
Facilitate and manage all SOC 1 reports applicable to the business
Provide advisory value-added services to the business in identifying controls, improving language and/or enhancing quality of documentation and coordinating with SOX group to ensure its aligned with their guidelines and expectations.
Be a key liaison between outside consultants, auditors, 2nd line SOX group and business on new initiatives and in establishing a solid understanding of the issue and risks identified that need to be coordinated and resolved by the business.
Lead as a financial risk SME in business discussions related to SOX and potential new areas of services and/or regions.
Bachelor's degree in Finance, Accounting or Business required (Master's degree desirable) with a minimum of 7-10+ years of relevant risk management and/or SOX (Sarbanes Oxley) testing and documentation experience.
The ideal candidate will have direct experience working in a 1st or 2nd line SOX or Internal Controls Advisory role within a financial institution, or consulting experience advising financial institutions on the implementation of effective risk managed internal control structure and associated documentation (Process Maps, Narratives, Control design and efficiency testing etc.)
Solid understanding of SOX and PCAOB requirements and familiarity with 302 certification process.
Coordinate walk-throughs, test of design and efficiency on key internal controls and quality documentation of the work performed for audit trail purposes for both 2nd line or External Auditors review.
Ability to analyze and accurately evaluate risk associated with an identified gap and involve right stakeholders to device a solid remediation plans that keeps the residual risk within the tolerance level.
Working knowledge of banking in general and functional knowledge of key control structure and environment within credit card, cash management, deposits and Global operations.
Strong expertise with MS Office including Word, Excel, PowerPoint, and Visio as well as Adobe Acrobat. Experience with Workiva/SOX and GRC tools a plus.
Certified Internal Auditor, Certified Public Accountant or similar recognized certifications.
Dedicated team player.
Excellent interpersonal, communication and organizational skills.
Demonstrated project management, analytical and problem-solving skills.
Ability to collaborate, negotiate, influence and build consensus across the organization.
Displays excellent time-management and problem-solving skills.
Demonstrates sound judgment and strong analytical skills.
Must possess keen attention to detail.
Ability to create job aides, procedures, and conduct trainings.
Must be adaptable and flexible to support change in regulatory environments.
Ability to travel to attend meetings and/or conduct training.